Emma C. Thomas

ALLIANCEBERNSTEIN L.P.

CHICAGO, IL 60606

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CRD#: 7138375

Professional summary

Emma Catherine Thomas, who also goes by Emma Thomas, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Chicago, Illinois and SANFORD C. BERNSTEIN & CO., LLC located in Chicago, Illinois.

Emma is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Emma has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emma Thomas

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Entity Name: The Rock Agency Investment related: No "Address: 415 W Huron St Suite 4C Chicago, IL 60654 https://www.therockagency.com/ " Nature of the other business: Modeling Position/Title/Relationship: Employee/Contractor Start Date: 08/24/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Independent contractor paid through my LLC as a Lifestyle model and actress. The nature of my business is modeling for advertisements, catalogs, etc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emma Catherine Thomas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 17, 2024 - Present

ALLIANCEBERNSTEIN L.P.

Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606

RIA

CRD#: 108477

CHICAGO, IL

Current

September 17, 2024 - Present

SANFORD C. BERNSTEIN & CO., LLC

Office #1: 227 West Monroe Street Suite 5900, Chicago, IL 60606

RIA

CRD#: 104474

Chicago, IL

Past

January 5, 2022 - August 30, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Chicago, IL

Past

January 5, 2022 - August 30, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

Chicago, IL

Past

October 29, 2019 - October 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SKOKIE, IL

Past

September 27, 2019 - October 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SKOKIE, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/6/2025)

Colorado
(5/6/2025)

Illinois
(9/17/2024)

IAR

Illinois
(9/17/2024)

Indiana
(5/6/2025)

Massachusetts
(2/24/2025)

Michigan
(5/6/2025)

New Jersey
(3/6/2025)

New York
(5/6/2025)

North Dakota
(1/24/2025)

Texas
(1/13/2025)

IAR

Texas
(1/13/2025)

Virginia
(9/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/25/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/27/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/26/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA

Registered Investment Advisory firm - (8/13/1999 Approved)

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Contact information

Main Address

501 Commerce Street, Nashville, TN 37203

Mailing Address

Phone number

(615) 622-0000

Established

Firm type

Fiscal year end

# of Employees

3,994

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)

INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	68,593
AUM (Assets Under Management)	$ 709,162,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
10/27/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Emma C. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emma Catherine Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALLIANCEBERNSTEIN L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2019

Series 7TO

Date: 9/27/2019

SIE

Date: 8/26/2019

FINRA

Current Firm

ALLIANCEBERNSTEIN L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLIANCEBERNSTEIN L.P.

TRUST BUT VERIFY

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